We are working with an international client who are on the search for a Head of Compliance & MLRO to join the team. The firm have an international sell side presence.
THE RESPONSIBILITIES:
To ensure that an effective FCC and Compliance program is in place to identify regulatory requirements and develop, update and maintain the relevant Compliance and FCC parts of the appropriate manual, guidelines, policies and procedures to satisfy the local and firms’ global requirements, including developing and maintaining adequate anti-money laundering policies and training.
To update and manage the firms Compliance & Financial Crime policies and procedures.
To review draft legislation and/or policies.
To participate in business committees and working groups and provide subject matter expertise in regulatory issues and challenge with respect to Compliance and FCC risk.
To monitor activities for Compliance and FCC and escalate significant regulatory issues or material incidents of non-compliance to senior management.
To liaise with regulatory bodies (e.g. Commission de Surveillance du Secteur Financier).
Oversee the local regulatory regime covering:
MIFID & MIFID rules
Market Abuse Regime (MAR) rules
Conduct of Business rules
AML Transaction Monitoring
Sanctions
All aspects of KYC (including PEPs, CDD & EDD)
Regulatory Reporting (where applicable)
MI to senior management
To provide Compliance and FCC advisory services in a pro-active manner to management and employees in the various business lines.
Provide induction training to new employees and additional regulatory training as and when required on Compliance and FCC related topics.
EXPERIENCE REQUIRED:
Previous experience within a Head of Compliance/ MLRO/ Senior level compliance role within a bank.
Prior experience of dealing with the regulator (CSSF) on regular basis
Fluency in English is mandatory, French advantageous.
Experience in both regulatory compliance and AML/ Financial Crime Compliance.
For further information please contact Jordan White
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